Series 7: 18.4.1 Code Of Procedure

Taken from our Series 7 Top-off Online Guide

18.4.1  Code of Procedure

FINRA may issue a complaint against any member firm or associated person who is suspected of violating any rule, law, or regulation that FINRA has jurisdiction to enforce. Complaints must be served in writing to both the accused firm or associated person and the Office of Hear

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